RICHARD JOSEPH SHANKS is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 3550 CAMINO DEL RIO N, STE 100, SAN DIEGO, CA, 92108-1738.
RICHARD JOSEPH SHANKS has worked at AMERIPRISE FINANCIAL SERVICES, INC. since November 12, 2001
Disclosure History
RICHARD JOSEPH SHANKS has 2 Disclosure Event(s).
Date: November 26, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT SALE OF ANNUITY PRODUCT PURCHASED 3/10/03 AND FUND PRODUCTS PURCHASED BETWEEN APRIL 1999 AND SEPTEMBER 2003 MAY NOT BE APPROPRIATE. CLIENT IS REQUESTING THAT ALL SALES/SURRENDER CHARGES FOR THESE PRODUCTS BE WAIVED. Damage Amount Requested: $5,000.00 Broker Comment: WE FOUND THAT THE CLIENT'S INVESTMENT PORTFOLIO WAS WITHIN THE CLIENT'S STATED INVESTMENT TIME FRAME AND PURCHASE OF THE MUTUAL FUNDS AND ANNUITY PRODUCTS WERE RECOMMENDED AND CHOSEN BASED ON THE CLIENT'S INVESTMENT GOALS AND OBJECTIVES.
Date: October 02, 2001 Category: Regulatory
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